Maxwell Thomas Neese
Investment adviser representative at LPL Financial LLC
10 yearsExperience
2 statesRegistered in
CFP® certificationDesignation
$819.1BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
10 years in the industry.
- LPL Financial LLCApr 2024 to now
- Cambridge Investment Reserach Advisors, Inc.Jun 2022 to Apr 2024
- Cambridge Investment Research, Inc.May 2022 to Apr 2024
- Mwa Financial Services IncMay 2021 to May 2022
- Modern Woodmen of AmericaMay 2020 to May 2022
- Compass Financial ServicesMay 2019 to Aug 2019
- Journey FinancialMay 2018 to Aug 2018
- Peoples BankMay 2017 to Aug 2017
- Iowa State UniversityAug 2016 to May 2020
Designations
- CFP® certification
Exams passed
- Series 63 · Uniform Securities Agent State Law2019
- Series 66 · Uniform Combined State Law2022
State registrations
Registered as an investment adviser representative in 2 states (IA, TX).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6951730
- Firm CRD
- 6413